- Huntington National Bank (Columbus, OH)
- …municipal underwriting operations , fixed income operations , or similar broker dealer operations experience + FINRA Series 52 or ability to obtain ... Description The Municipal Syndicate Operations Analyst is responsible for supporting municipal competitive...6 months of hire. + If you obtained a FINRA Series 7 license prior to November 7, 2011… more
- NatWest Markets (Stamford, CT)
- …and Experience:** + 3 to 5 years of broker - dealer and swap dealer experience including knowledge of FINRA , SEC, CFTC, DTCC and NFA regulation. + ... Broker Dealer Advisory - VP Stamford,United States...CFTC Swap Dealer Rules, TRACE Reporting, Primary Dealer Rules, and FINRA rules. + Assist with… more
- NatWest Markets (Stamford, CT)
- …as necessary to ensure the proper operations of the department and the business._ ** Broker Dealer Testing VP** This role will report to the Head of Broker ... Broker Dealer Testing, VP Stamford,United States...and securities products and compliance including knowledge of CFTC, FINRA , SEC, CMA regulations. Specifically, with FINRA … more
- Truist (Richmond, VA)
- …the day-to-day supervisory reviews that are performed. + Supervisory responsibility for Broker Dealer trading activity. + Provide oversight and support for ... that are routinely associated with those of a retail broker / dealer to engage with advisors in the...operations .** + Familiar with SEC Marketing Rule and FINRA Communication with the Public Rule 2210. + Strong… more
- Atria Wealth Solutions (Lunenburg, MA)
- …other departments of the credit union. + Act as the liaison between the client, broker / dealer operations and compliance, and the vendor to resolve pending ... forth by the Credit Union, your Program Manager, the broker - dealer , FINRA , the SEC and...service or sales environment. Solid knowledge of mutual fund operations , procedures, transfers and general workings of both transfer… more
- AON (Chicago, IL)
- …investment banking team. Aon Securities LLC has global operations and is a FINRA US registered broker dealer , and SEC Registered Investment Adviser. The ... team. Aon Securities LLC has global operations and is a FINRA US registered broker dealer , and SEC Registered Investment Adviser. The primary focus… more
- Atria Wealth Solutions (King, NC)
- …by OSJ and follow the rules and regulations set forth by the credit union, FINRA , SEC and the broker / dealer . + Accountable for meeting annual business ... have the following abilities: to read, to perform arithmetic operations quickly and accurately; to see details and recognize...and registered through CUSO Financial Services, LP (CFS). Member FINRA /SIPC. CFS is a broker / dealer … more
- Citigroup (Tampa, FL)
- …day-to-day processes of intake/assignment/close out of investment complaints for a retail broker dealer /RIA and insurance agency business; coordination of the ... + Supporting teams with compliance and control; partners with operations , risk, compliance, legal and other entities to ensure...of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This… more
- PNC (Pittsburgh, PA)
- …performed remotely, at manager's discretion. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic ... joining a team of finance professionals which includes individuals with CPAs and broker dealer licenses. PNCCM underwrites, deals, and trades in corporate… more
- SMBC (New York, NY)
- …activities. + Strong knowledge in US securities laws, rules and regulations and broker dealer fixed income operations including TRACE reporting, Primary ... regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance… more
- SMBC (New York, NY)
- …Objectives** As Head of Compliance Infrastructure Advisory, you will: + Coordinate bank, broker - dealer , and swap dealer regulatory Compliance programs across ... coverage and guidance across support teams such as Finance, Operations , and IT. + Manage a team of three...in updates and reviews of compliance policies for bank, broker - dealer , and swap dealer regulations.… more
- TD Bank (New York, NY)
- …routine and ad hoc filings related to complaints, reportable issues, disclosures, and broker dealer requirements. + Respond to regulatory inquiries related to ... US Wholesale businesses. **Responsibilities:** + Oversee the registration requirements for four broker -dealers, the swap dealer , and the security-based swap … more
- City National Bank (New York, NY)
- …with the transfer by acting as the intermediary between the receiving and delivering broker dealer , and see that the account is properly closed and archived ... * OPERATIONS ANALYST* WHAT IS THE OPPORTUNITY? Provides operational...* 3 to 5 years of experience in a broker dealer or investment industry * Minimum… more
- Scotiabank (New York, NY)
- …Testing Program covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap dealer , futures ... compliance testing or audit. + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales, investment… more
- JPMorgan Chase (New York, NY)
- …of our Operations team, you'll play a crucial role in supporting the Broker Dealer 's Equities Execution Services. Join us to enhance your skills and ... team, you will oversee the lifecycle of Equities Executing Broker trades. You will collaborate with traders and technology...Services, Settlements, or P&L reporting. + Hold Series 99 FINRA license ( Operations Professional). + Fluency in… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- … operations area at a hedge fund, private equity firm, institutional consultant, or broker dealer + Client disclosure concepts and client confirms + All MS ... Series 7_TR - Sec Trader - Financial Industry Regulatory Authority ( FINRA ), Series 99_OS- Operations Professional - Financial Industry Regulatory Authority… more
- Robert Half Finance & Accounting (Chicago, IL)
- …while emphasizing the importance of a work-life balance. Position Purpose: The Broker - Dealer Regulatory Reporter is responsible for compiling, analyzing, and ... accurate regulatory reports to relevant agencies, including the SEC, FINRA and CME, ensuring the brokerage firm adheres to...Required: + 3-5 years of accounting experience, ideally in broker - dealer regulatory reporting + Deep understanding of… more
- Citigroup (Jacksonville, FL)
- …staff development and ability to delegate + In-depth knowledge of Bank and Broker - Dealer businesses + Strong knowledge and experience in complex investment ... Private Client Wealth Supervision manages a team of over 50 FINRA -licensed colleagues responsible for the supervisory oversight of investments sales activity… more
- Tradeweb (Jersey City, NJ)
- …management team **Qualifications** + 4-8 years of experience in securities accounting and/or broker dealer operations within the financial services industry ... invoice reviews, billing and general ledger postings + Process and calculate broker commission payments and all necessary support + SOX and Audit responsibilities… more
- Principal Financial Group (Grand Rapids, MI)
- …a related field preferred. + 2+ years or related work experience in life insurance/ broker - dealer or RIA operations : client service, account opening, account ... investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM… more